Employee Compliance, Personal Account Dealing- AVP/AM Should have experience in below: - Conflict of interest - Personal account dealing - Insider dealings - Knowledge of financial products (ETF, shares, bonds, derivatives, etc) Purpose of the role: - To investigate employee conduct exceptions, provide oversight & advice and mitigate compliance risks. Help maintain a culture of employee integrity and compliance within the organisation through delivery of appropriate training and execution of controls. Accountabilities: - Development and implementation of policies related to employee conduct that aligns with regulatory requirements and industry best practices. - Implementation of surveillance and monitoring systems to track and report on employee behaviour. - Development of training programmes to educate employees on conduct expectations, ethical standards, and regulatory obligations. - Completion of task and exceptions from the following areas Breach Management & Reward, Global Registrations (including the UK Senior Managers Regime), Conduct Rules, Mandatory Block Leave and Personal Investments & Affiliations to ensure oversight of relevant Employee Conduct policy and standards. - Development and implementation of controls related to employee conduct that aligns with regulatory requirements and ' risk appetite and industry best practices. - Provision of advice and assistance across on matters that relating to employee conduct. Assistant Vice President Expectations: - Consult on complex issues; providing advice to People Leaders to support the resolution of escalated issues. - Identify ways to mitigate risk and developing new policies/procedures in support of the control and governance agenda. - Take ownership for managing risk and strengthening controls in relation to the work done. - Perform work that is closely related to that of other areas, which requires understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function. - Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategy. - Engage in complex analysis of data from multiple sources of information, internal and external sources such as procedures and practises (in other areas, teams, companies, etc).to solve problems creatively and effectively. - Communicate complex information. 'Complex' information could include sensitive information or information that is difficult to communicate because of its content or its audience. - Influence or convince stakeholders to achieve outcomes.

Pune

AVP/AM - Employee Compliance - Personal Account Dealing 

Job Description for AVP/AM - Employee Compliance - Personal Account Dealing  in Black Turtle in  Pune for (3-14) years of experience. Apply Now!